U.S. Securities and Exchange Commission Data Delivery Standards
This document outlines how to use Discovery Assistant to deliver scanned paper collections, email and electronic document / native file collections to the Securities and Exchange Commission (SEC).
Discovery Assistant is an eDiscovery processing tool that processes electronically stored documents, including PST files, zip files, scanned documents, Office documents, and PDF files, to create load files that can be opened by Concordance.
The SEC uses Concordance® 2007 v9.58 and ConcordanceImage® v4.53 software to search, review and retrieve documents produced in electronic format.
To use Discovery Assistant to produce a Concordance Load file for the SEC:
Discovery Assistant Export Dialog Settings
Use Discovery Assistant to produce electronic documents and Concordance Load Files as required by the SEC.
To produce the required documentation, load PST files, native files (Office, PDF, DOC, XML, MSG), and scanned documents into Discovery Assistant. Process these documents to TIFF, then Bates stamp, and export to Concordance/Opticon load format.
You will need to click the Fields button to select the fields to export.
Required SEC Metadata Fields
Below is a list of required fields included in the production of electronically stored documents to the SEC. The first column is the Discovery Assistant defined name; the second column is the SEC defined name.
Metadata fields are exported to a Concordance Load File format using Discovery Assistant software.
ImageMAKER technical staff members are available to assist in helping you set up the Discovery Assistant program, monitor the document conversion process, and review the exported Concordance load file for completeness.